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 Putting Investors First

The Putting Investors First Campaign is a global initiative created to encourage financial professionals to place the interests of investors above their own, and build awareness of the fiduciary duty to protect investor interests. The event is presented by CFA Institute, the global association of investment professionals that sets the standard for professional excellence and credentials. Putting Investors First features a series of events and outreach throughout the campaign (3 April – 22 May), hosted by hundreds of CFA Institute members and many of the organization’s 147 member societies worldwide. Putting Investors First is part of the Future of Finance project, a long-term global effort to shape a trustworthy, forward-thinking investment profession that better serves society.​

Putting Investors First Means...
  • Commit to the highest ethical standards, and expect the same of others. 
  • Adapt governance or incentive-related business practices so they align with, and support putting the client first. 
  • Focus on assessing and understanding your clients' needs and goals. 
    • Action: Build these skills in yourself and equip your clients to actively participate in their investment decision

 2015 Event

M​​​​ay 18​​, 2015​


The reputation of the financial services industry has been tarnished in recent years by financial scandals, scams, and practices that have put investor interests in second place. The "Putting Investors First" panel program will discuss the current ethical mandates and responsibilities, key reg​ulat​​​ory issues pertinent today, and tips for managing and thriving in this environment.  It aims at promoting awareness of best practices in asset management including:

  • Current and emerging regulatory trends
  • Discovery and prevention of investor fraud
  • Fairness and transparency in the financial markets
  • Ethical dilemmas and gray areas

 Expert speakers and panelists, including regulators and practitioners, panelist representatives included: 

 

  • ​ Leah Bennet - Moderator, CFA Institute​ Representative
  • ​ ​Marshall Gandy - SEC Associate Regional Director
  • Brian Hartmann - FINRA Associate Director
  • Irving Faught - Oklahoma Securities Commission Administrator
  • Patrick Craine - Chesapeake Energy Chief Compliance Officer

           

 Resources

Realize your Rights.PNG​​​​​Statement of Investors Rights - ​the 10 things ​investors should expect from their financial service providers.

Trust to Loyalty.PNG

From Trust to Loyalty: A Global Investor Trust Study - a partnered survey from Edelman and CFA Institute about the level of trust in the industry.

Asset Manager.PNGAsset Manager Code of Professional Conduct - the over 1,000 firms from more than 30 different countries who have adopted the code and committed to ethical principals that put clients first.

Integrity List.PNGThe Integrity List​ - 50 ways to restore trust in the investment profession. 


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